Lead Opinion
SUHRHEINRICH, J., delivered the opinion of the court. JONES, J. (pp. 376-377), delivered a separate concurring opinion. MOORE, J. (pp. 377-386), delivered a separate opinion concurring in the judgment.'
OPINION
Petitioner-Cross-Respondent Graneare, Inc. d/b/a Heritage Manor (“Heritage”) petitions for review of a final decision of the National Labor Relations Board (“NLRB”) concluding that Heritage’s registered and licensed practical nurses, collectively known as
I.
Heritage is a 180-bed, long-term nursing care facility located in Flint, Michigan. The facility consists of three floors, each with'60 beds. The Nursing Department consists of one Executive Director of Nurses (DON), who is responsible for coordinating and managing the Nursing Department and directing its policies and procedures to provide appropriate resident care. Heritage has two Assistant Directors of Nurses (ADON). In addition, Heritage has two Staff Development/In-Serviee Directors in its Nursing Department. This position is responsible for orienting and training new and current staff. The Staff Development Directors dp not directly supervise charge nurses or nurses’ aides.
The Nursing Department also has thirty-three RNs and LPNs, known as charge nurses, and approximately 100 certified educated nurses’ aides. The charge nurses report to the DON and ADONs. The aides report to the charge nurses.
The Nursing Department operates twenty-four hours a day, seven days a week, on a three-shift schedule. Each floor is staffed by roughly two or three charge nurses and six or seven nurses’ aides. During the night shift, there is typically one charge nurse and three nurses’ aides assigned to each floor. In all, approximately eighteen nurses and forty-seven nurses’ aides staff the facility on any given day.
The DON and one ADON generally work 9:00 a.m. to 5:00 p.m. Monday through Friday. The other ADON comes in early. Thus, one or more of these persons may be present in the facility between 6 a.m. and 5 p.m., Mon-Fri. During their off-hours, the DON and the ADONs are available by phone. One is also designated as the “on-call manager” and is available by beeper. Charge nurses are the highest authority in the facility from approximately 6:00 p.m. to 6:00 a.m., Monday through Friday. On weekends, management is present for four to six hours per day. At all other times on the weekends, the charge nurses are the highest authority in the building.
The Charge Nurse job description describes a charge nurse’s “essential duties and responsibilities,” as including supervising nursing and ancillary personnel, implementing nursing care plans, participating in progressive discipline and orientation, monitoring and assisting in the evaluation of nursing staff performance, assigning staff based on facility needs, approving overtime, sending employees home as necessary to maintain satisfactory staffing ratios, maintaining rules and regulations of the facility, and instructing nursing staff in the provision of nursing care. DON Kim Runci testified that, except for interviewing, hiring, and calling outside agencies to fill in for absent nurses’ aides, the job description accurately depicts the charge nurse’s duties. Additionally, charge nurses assign lunch and rest breaks, approve changes in lunch and break times, assign and reassign patient-and nonpatient care duties, act as the facility supervisor in the absence of other facility management, and adjust nurses’ aides’ grievances at the first step under the collective bargaining agreement between the aides and Heritage.
On April 25, 1995, the Union filed a representation petition with the NLRB seeking to represent Heritage’s charge nurses. On June 22, 1995, the Regional Director for NLRB Region 19 issued a Decision and Order finding that Heritage’s charge nurses were not supervisors, and directed an election. Heritage sought review of that decision by the NLRB, which the NLRB ultimately denied. An election was held and the Union was certified as the exclusive bargaining representative. Heritage, however, refused to
H.
The Act defines a supervisor to.be an individual who, having authority on behalf of the employer, uses independent judgment to, among other things, assign and direct work, discipline, adjust grievances, or effectively recommend such action. 29 U.S.C. § 152(H).
Any individual who meets the statutory test is a supervisor; members of the health care field are not excepted. Beverly California Corp. v. NLRB,
The Board has the burden of proving that employees are not supervisors. NLRB v. Beacon Light Christian Nursing Home,
Our review of the record reveals that the Board impermissibly shifted the burden of proof to the employer, (see Decision and Direction of Election, dated June 22, 1995, p. 21, J.A. 28), ignored substantial evidence, and misconstrued our precedent. For example, the NLRB found that Heritage’s charge nurses have the authority to assign aides to specific patients and specific tasks, but found that “the record evidence with respect to the nurses’ authority to assign CENAs [nurses’ aides] is minimal.” (Id. at 21). This finding ignores language in the nurses’ aides’ collective bargaining agreement that provides that a charge nurse “has the authority and responsibility to direct [the aide’s] work activities.” (J.A. 110). It also ignores the Charge Nurse job description, which states that a charge nurse’s “essential duties and responsibilities” include “supervis[ing] nursing and ancillary personnel in implementation of nursing care plans as assigned,” (Id. 128), and “assigning] staff based on uniVfacility needs.” (Id. at 129). Furthermore, various witnesses testified that charge nurses assign and reassign aides to particular patients and tasks, as well as authorize lunch and rest breaks. (Id. 321-26; 990-91). Although the Regional Director did not address it, the employer introduced evidence that charge nurses have the authority to delay or cancel an aide’s break if necessary. (Id. 1128-29; 403-04; 612-13).
The Regional Director also made findings, at least tacitly, that charge nurses have authority to discipline, but discounted all the proof. For example,, the Regional Director found that:
[o]f the 21 documents offered as evidence that RNs and LPNs have statutory authority to discipline, only four disciplinary forms and one consultation report reflect that a written warning was recommended or given. Three of the four disciplinary forms were written by one LPN, and all four concern the same employee, without any evidence whatever that any progressive discipline having been imposed. Of the Employer’s approximately 32 RNs and LPNs, the evidence does not establish that more than three have given or recommended written warnings.
(J.A. 26). The Regional Director concluded that “[a]t best, the exhibits represent isolated incidents of supervision insufficient to elevate the nurses as a whole to supervisory level.” (J.A. 26).
This view is directly contrary to Sixth Circuit precedent. “It is the existence of disciplinary authority that counts under the statute, and not the frequency of its exercise.” Beverly California Corp.,
Although the Regional Director also brushed it aside, the fact that charge nurses are the most senior ranking authority in the Nursing Department for twelve hours per day dining the weekdays, and for most of the weekend is significant. Under the Board’s view, there was no on-site supervisory personnel almost half of the time. “This is not a reasonable conclusion for a well-run nursing home____ ” Beacon Light,
Because § 2(11) requires only one of the twelve listed activities be satisfied, and the other elements of the statute are clearly present, the foregoing easily establishes that Heritage’s charge nurses are “supervisors.” Thus, Heritage’s petition for review is GRANTED; the NLRB’s cross-petition for enforcement is DENIED; and the order of the NLRB is VACATED.
Notes
. 29 U.S.C. § 152(11) provides:
(11) The term "supervisor” means any individual having authority in the interest of the employer, to hire, transfer, suspend, lay off, recall, promote, discharge, assign, reward, or discipline other employees, or responsibly to direct them, or to adjust their grievances, or effectively to recommend such action, if in connection with the foregoing the exercise of such authority is not of merely routine of clerical nature, but requires the use of independent judgment.
Concurrence Opinion
concurring.
I concur in my colleague’s well reasoned opinion. I write briefly to emphasize that the determination of whether charge nurses are supervisors under the National Labor
Additionally, although we are clearly bound by Sixth Circuit precedent which places the burden on the Board to prove that employees are not supervisors, I agree with Judge Moore’s thoughtful concurrence that the Board’s placement of that burden on the employer is a reasonable construction of the Act. As Judge Moore notes, the determination of supervisory status with regard to professionals is a sensitive and difficult one because of the myriad number of tasks such persons perform. The lines are not always clear in eases like this, where the employees at issue are highly trained individuals whose daily tasks include life and death decisions. Nevertheless, I find that on the facts of this ease, the Graneare charge nurses exercised supervisory authority. I reiterate, however, that because of the fact based nature of such a determination, and the difficulty associated with categorizing professionals, courts must be reluctant to override the determination of the Board whose expertise in this subject is well known. I too, am troubled by the Sixth Circuit’s apparent ease by which it discounts the findings of the Board, but feel that in this ease such a conclusion was appropriate. I therefore concur.
concurring in the judgment.
In Chevron, U.S.A, Inc. v. Natural Resources Defense Council, Inc.,
When the legislative prescription is not free from ambiguity, the administrator must choose between conflicting reasonable interpretations. Courts, in turn, must respect the judgment of the agency empowered to apply the law “to varying fact patterns,” even if the issue “with nearly equal reason [might] be resolved one way rather than another.”
Holly Farms Corp. v. NLRB,
In cases involving nursing personnel, however, the Sixth Circuit repeatedly insists on substituting its own legal interpretation of ambiguous language contained in § 2(11) of the National Labor Relations Act (“the Act”), 29 U.S.C. § 152(11), defining the term “supervisor,” for that of the National Labor Relations Board (“the Board”). Because I believe the Board’s construction of § 2(11) to be reasonable in light of the congressional intent underlying the Act, I must object to
I. BURDEN OF PROVING SUPERVISORY STATUS
The Board repeatedly has placed the burden of proving supervisory status upon the employer where, as here, the employer is the party asserting supervisory status in order to exclude employees from coverage under the Act. See, e.g., Bozeman Deaconess Found. d/b/a Bozeman Deaconess Hosp. and Montana Nurses Ass’n,
The legislative history of § 2(11) demonstrates Congress’s intent that only those who are “truly supervisory,” as opposed to those with minor supervisory duties, be excluded from the Act’s coverage. S.Rep. No. 80-105, at 19 (1947). The Board concluded that this legislative history “indicates that Congress chose to err on the side of narrowness rather than breadth in the exclusion.” Ohio Masonic Home,
The Board’s position finds additional support in judicial precedent. The Supreme Court in NLRB v. Transportation Management Corp.,
Finally, the Board advances several practical considerations in justification of its placement of the burden of proving supervisory status on the party invoking the exemption. The Board argues that placing the burden of proof upon the Board is infeasible because the Board is not a party to the earlier proceedings. See Beverly Enter.-Ohio,
In sum, the Board’s placement of the burden of proving supervisory status upon the employer derives from a reasonable construction of the Act which respects legislative intent. Judicial precedent and practical considerations lend further support to the Board’s position. Several other circuits have upheld the Board’s position. See Beverly Enter.—Pennsylvania, Inc., d/b/a/ Grandview Health Care Ctr. v. NLRB,
II. IDENTIFYING SUPERVISORY NURSING PERSONNEL
The Act defines the term “supervisor” as follows:
The term “supervisor” means any individual having authority, in the interest of the employer, to hire, transfer, suspend, lay off, recall, promote, discharge, assign, reward, or discipline other employees, or responsibly to direct them, or to adjust their grievances, or effectively to recommend such action, if in connection with the foregoing the exercise of such authority is not of a merely routine or clerical nature, but requires the use of independent judgment.
29 U.S.C. § 152(11). As the Supreme Court has formulated the appropriate test, three components must be satisfied in order for an employee to be found to be a supervisor: she must have the authority to engage in one of the twelve activities; she must use independent judgment in exercising that authority; and she must hold the authority “in the interest of the employer.” Health Care & Retirement Corp.,
This case asks us to consider whether the registered and licensed practical nurses (“LPNs”) employed by Heritage Manor are supervisors as defined by § 2(11) of the Act. The employer contends that all nurses in its employ are supervisors, but the-Board concluded otherwise. The majority asserts that the nurses have authority to assign and di
A. The Meaning of “Responsibly to Direct” or to “Assign” Using “Independent Judgment”
As the Supreme Court recognized in NLRB v. Health Care & Retirement Corp. of Am.,
In assessing the reasonableness of the Board’s interpretation, we must be mindful of the congressional intent underlying the Act’s supervisory exemption. Congress excluded supervisors from the Act’s coverage in its 1947 amendments to the Act. See 29 U.S.C. § 152(3). The Report of the Senate Committee on Labor and Public Welfare accompanying the bill explained that Congress wished to assure that management was not deprived “the undivided loyalty of its repre-sfentatives.” NLRB v. Yeshiva Univ.,
At the same time that Congress exempted supervisors from the class of employees afforded protection under the Act, it made clear that, “professionals” were covered by the Act. The Act defines the term “professional employee” as follows:
[A]ny employee engaged in work (i) predominantly intellectual and varied in character as opposed to routine mental, manual, mechanical, or physical work; (ii) involving the consistent exercise of discretion and judgment in its performance; (iii) of such a character that the output produced or the result accomplished cannot be standardized in relation to a given period of time; (iv) requiring knowledge of an advanced type in a field of science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study____
29 U.S.C. § 152(12)(aj. The categories “supervisor” and “professional” may overlap, and we must read the two provisions in pari materia. Because “administrators and reviewing courts must take care to assure that exemptions from NLRA coverage are not so expansively interpreted as to deny protection to workers the Act was designed to reach,” Holly Farms,
Mindful of this legislative history, the Board follows this circuit’s half-century-old construction of the phrase “responsibly to direct” in treating the phrase as only applying to those employees “answerable for the discharge of a duty or obligation.” See Providence Hospital and Alaska Nurses’ Ass’n,
2; “Independent Judgment”
Even assuming that the nurses employed by Graneare have the authority “responsibly to direct” the nurses’ aides with whom they work, or the authority to “assign” work, they do not exercise this authority with “independent judgment.” The Act states that supervisory conduct which is “of a merely routine or clerical nature” does not involve the use of “independent judgment.” 29 U.S.C. § 152(11). In applying this provision to cases involving the supervisory status of nursing personnel, the Sixth Circuit has broadly interpreted the phrase “independent judgment” as including “sensitive and nuanced judgments.” Caremore,
In an effort to harmonize Congress’s clear intent to exclude supervisors from the Act’s coverage while including professionals within the class of covered employees, the Board has properly focused on the policies behind the supervisor exemption—providing employers with a group of employees who are loyal to management and who share management’s concerns and prerogatives. See S.Rep. No. 80-105, at 4. In assessing whether charge nurses exercise “independent judgment,” the Board considers whether the nurses possess management prerogatives greater than merely
the authority of an employee to direct another to perform discrete tasks stemming from the directing employee’s experience, skills, training, or position, such as ... the direction which is given by an employee with specialized skills and training which is incidental to the directing employee’s ability to carry out that skill and training, and the direction which is given by an employee with specialized skills and training to coordinate the activities of other employees with similar specialized skills and training.
Providence Hospital,
Health Care & Retirement Corp.,
Applying the Board’s statutory construction to the facts of this case, I conclude that substantial evidence supports the finding that the nurses employed by Graneare did not exercise their authority to “assign” or “responsibly to direct” the work of the nursing aides with “independent judgment.” Although the nurses assigned aides to particular rooms or patients and could approve or change their lunch or smoking breaks, the aides’ assignments were based on week-long rotations through sections. Thus, the nurses exercised their authority to “assign” the aides within narrow boundaries, rendering the exercise of their authority merely routine or clerical. See Beverly Enter.—Pennsylvania,
The fact that at times the nurses were the most senior ranking authority in the home is of little significance and does not invalidate the Board’s findings. At all times, the Director of Nursing or an Assistant Director of Nursing was on-call and reachable by beeper, thereby indicating that ultimate responsibility rests with these truly supervisory nurses and not with the staff nurses. See Providence Alaska Medical Ctr.,
B. “Having Authority” to “Discipline” Using “Independent Judgment”
In determining whether the nurses employed by Graneare disciplined or had the authority to discipline the aides and used independent judgment in doing so, once again we must be mindful of Congress’s intent to provide employers a group of loyal managerial and supervisory employees while at the same time affording the Act’s protections to leadmen and other minor supervisors, as well as to professionals.
1. Actual Authority
The majority concludes that the nurses in this cáse are supervisors because their job description states that charge muses will participate in the “progressive discipline” of nursing personnel, the first level of which is a written warning according to the terms of the collective bargaining agreement between Graneare and the nurses aides. According to the majority, this job description alone “is ample proof’ of the existence of the nurses’ authority to discipline. Maj. Op. at 376; see also Beverly California Corp.,
what is amiss with [the] argument which is based on paper credentials is that there is lack of actual authority to match. The concept of supervision has some elasticity, but it must have substance and not be evanescent. Statutory supervision requires some suiting of the action to the words and the words to the action---- A supervisor may have potential powers, but theoretical or paper power will not suffice. Tables of organization and job descriptions do not vest powers.
NLRB v. Security Guard Serv., Inc.,
2. Disciplinary Authority
The Board previously has stated that “for the issuance of reprimands or warnings to constitute statutory supervisory authority, the warning must not only initiate, or be considered in determining future disciplinary action, but also it must be the basis of later personnel action without independent investigation or review by other supervisors.” Passavant Health Ctr.,
3. “Independent Judgment”
Cognizant of Congress’s intent that the supervisory exemption apply only to those “vested with ... genuine management prerogatives,” S.Rep. No. 80-105, at 4, the Board looks at the extent to which the nurses in question decide whether an aide’s misconduct requires any disciplinary action, and if so, what level of disciplinary punishment is appropriate. See Illinois Veterans Home at Anna L.P. and AFSCME, Council 31, AFL-CIO, 323 N.L.R.B. No. 161,
4. Grancare’s Nurses
The Board concluded that contrary to the nurses’ job descriptions, they do not possess the authority to discipline aides. Under the nurses’ aides’ collective bargaining ' agreement with Graneare, the aides are subject to a system of progressive discipline, in which the first level of punishment is a written warning, the second level is a suspension, and the third level is a discharge. The nurses could not independently impose a punishment under the progressive discipline system because the imposition of discipline requires a review of an aide’s personnel file, and the nurses do not have access to those files. J.A. at 305, 369-70, 442-44. Moreover, before imposing any disciplinary punishment, the Director of Nursing or an Assistant Director of Nursing holds a disciplinary meeting with the aide and union steward. J.A. at 304, 632: The nurse reporting the incident which prompted the meeting often does not attend this meeting, J.A. at 305, 688, and her involvement when present is limited to that of a fact witness. J.A. at 689-91. Because substantial evidence supports the Board’s finding that, contrary to their job description, the nurses employed by Graneare do not participate in the progressive discipline of nursing personnel in any meaningful manner, we should defer to the Board’s finding that the nurses lack actual disciplinary authority.
Even if the nurses did possess disciplinary authority, they cannot be said to exercise this authority using independent judgment. To the extent that nurses exercise disciplinary authority, their discretion is tightly constrained. The collective bargaining agreement between Graneare and the aides, and not the nurses, determines the standards of conduct governing the aides’ work, including which behaviors “will not be tolerated.” J.A. at 110-15 (Collective Bargaining Agreement App. C). In addition, as explained above, nurses do not determine the appropriate level of punishment for an aide’s misconduct; rather, the Director of Nursing or an Assistant Director of Nursing conducts an independent review of the incident and imposes a punishment, if any, under the progressive discipline system. Consequently, even assuming that the nurses have the authority to discipline, their exercise of that authority is routine and does not entail the exercise of independent judgment as required by the statutory definition of a supervisor.
C. The Authority “Effectively to Recommend” Disciplinary Action
Although the majority opinion does not address whether the nurses had the authority “effectively to recommend” disciplinary action, the Board considered the issue and concluded they do not have such authority. At one end of the spectrum of disciplinary recommendations lies action that constitutes merely having some input into decisions affecting others’ employment status, while at the other end is action equivalent to having the final word. See Stop & Shop Cos., Inc. v. NLRB,
III. CONCLUSION
Rather than defer to the Board’s expertise, the Sixth Circuit has insisted on substituting its own construction of the rather ambiguous terms defining “supervisor” for that of the Board, as well as supplanting the Board’s assessment with its own view as to what factual showing satisfies the statutory definition of “supervisor.” In so doing, this court has exceeded its authority as prescribed by Chevron and Holly Farms. Moreover, I fear our precedent obliterates any distinction between those with minor supervisory duties and true supervisors. Because most professionals exercise some minor supervisory authority, this circuit’s broad interpretation of the term “supervisor” threatens to strip professionals of the Act’s protections in contravention of Congress’s intent to include working professionals among the class of employees covered by the Act. The end result in this circuit is that virtually all nurses working in nursing homes are deemed by this court to be supervisors, a result that seems to me to be contrary to the intent of Congress, the law of other circuits, and the decisions of the Board.
Despite my serious misgivings regarding this circuit’s prior holdings in cases examining the supervisory status of charge nurses, I am bound by our precedent. Because the facts of this case closely parallel prior Sixth Circuit decisions rejecting the Board’s finding that charge nurses were not supervisors, I concur in the judgment.
. Professionals often are assisted by support personnel, and- thus exercise "supervision” to the extent that they direct the work of their aides. See Daniel D. Barker, Note, NLRB v. Health Care & Retirement Corp.: Erosion of NLRA Protection for Nurses and Other Professionals?, 1996 Wis. L.Rev. 345, 352 (1996). For example, many professionals direct the work of their secretaries, teachers direct their teachers' aides, and lawyers direct paralegals. See NLRB v. Res-Care, Inc.,
